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  1. Point in time
    2011-07-31

category B3 firm

94a category B firm:

  1. (a) whose permission includes only insurance mediation activity in relation to non-investment insurance contracts, home finance mediation activity, assisting in the administration and performance of a contracts of insurances, arranging transactions in life policies and other insurance contracts, advising on investments and receiving and transmitting, on behalf of investors, orders in relation to securities and units in collective investment schemes; and
  2. (b) which is subject to a requirement not to hold or control client money or custody assets.